Cn Ib Document Control

CN IB Document Control

Create one auditable register that answers: what is required, what has been received, in what form, which version is current, who owns the gap, and what evidence closes it.

Principles

1. Never equate received with complete, valid, signed, original, or reviewed.
2. Track each independently controlled item as a separate row.
3. Preserve issuer/entity, document period, required form, and version.
4. Do not delete superseded records. Mark them superseded and link the replacement.
5. Close an item only with reviewable closure evidence.
6. Do not upload or commit confidential deal materials to a public repository.

Workflow

1. Define the register scope

Identify:

• transaction and workstream;
• entities and persons covered;
• applicable period;
• source of the requirement;
• expected document form;
• responsible party and reviewer;
• delivery deadline and critical-path dependency.

Read references/document-categories.md to choose categories. Do not force unrelated items into a generic other bucket without explanation.

2. Create the register

Start with assets/document-control-template.csv or reproduce the same fields in an XLSX workbook.

Use a stable document_id. Keep the ID after revisions. Create a new row only when the controlled requirement is distinct.

Minimum fields:

textCopy code
document_id, category, document_name, entity, period,
requirement_source, required_form, version, status,
original_status, signature_status, seal_status, scan_status,
owner, reviewer, due_date, source_path, closure_evidence, notes

3. Apply controlled statuses

Read references/status-taxonomy.md. Track independently:

• overall workflow status;
• original received;
• signatures complete;
• seal complete;
• scan quality;
• review status;
• superseded status.

Avoid free-text statuses such as 差不多, 应该齐了, or 最新.

4. Reconcile received materials

For each delivery:

1. match it to an existing requirement;
2. confirm entity, person, period, document type, and version;
3. inspect completeness, signatures, seals, pages, color, legibility, and validity period;
4. record the source location without moving the original unless instructed;
5. update the register and reviewer;
6. create a new gap when the file only partially satisfies the requirement.

5. Run deterministic register checks

For CSV registers, run:

bashCopy code
python3 scripts/review_control_register.py register.csv --output issues.csv

The script checks duplicate IDs, invalid statuses, overdue items, unversioned files, and closed items without closure evidence. Confirm every result in context.

6. Prioritize follow-up

Classify open items by:

• filing or signing blocker;
• dependency on issuer, sponsor, counsel, accountant, government authority, customer, supplier, bank, or individual;
• time required to obtain;
• expiry risk;
• whether a scan, copy, original, notarization, translation, signature, or seal is missing.

Produce a concise follow-up list grouped by owner, not only by document category.

7. Close and archive

Before setting closed:

• confirm the exact requirement is satisfied;
• record the accepted file/version;
• record reviewer and review date;
• record closure evidence;
• preserve unresolved qualifications;
• link any superseded item.

Retain only final requested registers in the project directory. Keep previews and extraction files in temporary storage.

Outputs

Deliver:

1. master document-control register;
2. blocker list;
3. owner-based follow-up list;
4. upcoming deadline and expiry list;
5. duplicate/superseded/version exception list;
6. short completion statistics by category and entity.

Never report 100% complete when critical fields are blank, closure evidence is missing, or unreadable files were not inspected.